Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Clients on the Move? Tax Tip Reminders From the IRS
By Richard Niles, J.D.If your clients (or you) are making a move this summer, especially to change jobs, some reminders on deductible expenses.
August 08, 2012
Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SROCongressman Bachus WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.
August 08, 2012
Regulatory Compliance Adds Partner ProgramRegulatory Compliance has introduced a service intended to streamline service offerings for clients in a clear, logical manner so that they can stay on top of regulatory deadlines and filings.
August 07, 2012
PPACA: Feds Set Health EFT RegulationsThe interim final rule could affect how doctors and hospitals connect with insurers' systems.
August 06, 2012
AIG Sees Regulation as "Big Positive"American International Group officials said Friday they are preparing for regulation by the Federal Reserve Board in addition to state regulation.
August 06, 2012
AIG Sees Regulation as "Big Positive"American International Group officials said Friday they are preparing for regulation by the Federal Reserve Board in addition to state regulation.
August 02, 2012
Plaze to Leave SEC as Cross Joins AgencyThe SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agencys new Office of Municipal Securities.
August 02, 2012
SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec ChargedThere was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.